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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2023-12-11
  • TN RA
    APPROVED
    Since 2023-12-11

Branch Locations

6075 Poplar Ave Suite 335, Memphis, TN 38119 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Apple Inc Cupertino CA 10/2015 02/2020
Raymond James Financial Services Memphis TN 02/2020 08/2023
Raymond James Financial Services, Inc. Memphis TN 08/2023 Present
Raymond James Financial Services Advisors, Inc Memphis TN 12/2023 Present
  • 10/2015 → 02/2020
    Apple Inc
    Cupertino, CA
  • 02/2020 → 08/2023
    Raymond James Financial Services
    Memphis, TN
  • 08/2023 → Present
    Raymond James Financial Services, Inc.
    Memphis, TN
  • 12/2023 → Present
    Memphis, TN
Previous Registrations
  • 2012-12-10 → 2014-02-21
    Southstate Securities Corp.
    Memphis (Shelby), TN
    Memphis, TN
  • 2004-01-14 → 2004-04-23
    Memphis, TN
Other Businesses

(1)Name of Business: Swain Wealth Partners LLC Address: 6075 Poplar Ave Ste 335, Memphis, TN, 38119-0109, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/07/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Account opening, trading, general client assistance

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-01
S63 Uniform Securities Agent State Law Examination 1998-03-18
  • S66 Uniform Combined State Law Examination
    2023-12-01
  • S63 Uniform Securities Agent State Law Examination
    1998-03-18
Other Names
  • Ginger Bruton Shackelford
  • Ginger Alethea Bruton
  • Ginger A Bruton
  • Ginger Alethea Shackelford

View on SEC IAPD

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